FINRA has established a Web-based delivery method for completing the Regulatory Element of the Continuing Education (CE) requirements.  The test-center delivery method will be phased out by July 1, 2016.

The new Web-based delivery method is called CE Online and may also be accessed through FINRA’s Continuing Education Home Page by clicking on “Log in to the CE Online Program”.  You will be asked to provide your first and last name as well as your CRD Number and certain text provided for security purposes.

Firms should ensure that appropriate persons within the firm are aware of the changes to how FINRA is now delivering the regulatory element of its CE requirements, as discussed above.  Please note that registered persons do have the option of completing the Regulatory Element in a test center until July 1, but they will be required to use the FINRA CE Online System after that date.

Even so, we recommend that you advise your registered persons to complete any CE requirements during this timeframe on-line as the current fee for test-center and in-firm deliveries is typically $100 per session.  FINRA has established a fee of just $55 for each participant who completes the Regulatory Element via CE Online.

For further related information, please refer to this recent Information Notice from FINRA.